NO.PZ2018062009000006
问题如下:
Martin is a team manager of Gamma Investment who has supervisor responsibility. In his team, some are CFA Institute members, but some are not. Which of the followings is least likely correct regarding Standard IV(C) Responsibilities of Supervisors?
选项:
A.Martin’s supervisor responsibility is for all members in his team.
B.If Gamma Investment is in absence of a compliance system, Martin can send a written report to decline the supervising until a fully exercise of adequate compliance system is established.
C.Martin will not violate the Standard if his team member’s misconduct behavior is out of his knowledge.
解释:
C is correct.
Members acting as supervisors must have in-depth knowledge of the Code and Standards so that they can apply knowledge to supervise. He violates the standards if he should know but fails to detect and prevent violation.
作为领导层的CFA会员,应当熟知CFA准则,则他们可以在管理中更好地应用准则。只有当他应当知道,却依然没有发现及预防违规行为发生的时候,才违反准则。
只有当他应当知道,却依然没有发现及预防违规行为发生的时候,才违反准则。这句话完全和C一样,所以C是正确的,题目问的是不正确,为什么选C?